HARMONY ASSET MANAGEMENT LLC

Advisory Business

Type of Organization	Limited Liability Company
Fiscal Year End	DECEMBER
Legal Location	Arizona, United States

Employees

Total Number of Employees	9
Investment Advisory/Research	8
Registered Broker-Dealer Representatives	0
Registered State Investment Advisers	7
Licensed Agents of an Insurance Company	2
No. of Firms/People that Solicit Clients	0

RAUM

Provides Management of Securities Portfolios	Yes

Type	Accounts	RAUM
Discretionary	481	$356.2M
Non-Discretionary	0	$0
Total	481	$356.2M

Clients

Type	Number	RAUM
Individuals	110	$32.1M
HNW Individuals	118	$199.8M
Banking or thrift institutions	0	$0
Investment companies	0	$0
Business development companies	0	$0
Pooled investment vehicles	0	$0
Pension and profit sharing plans	0	$0
Charitable organizations	0	$0
State or municipal gov entities	0	$0
Other investment advisers	0	$0
Insurance companies	0	$0
Sovereign wealth funds and foreign official institutions	0	$0
Corporations or other businesses	7	$15.4M
Other	1	$108.9M

Type	Number
No. of Non-RAUM Clients	0
No. of Non-U.S. Clients	2
No. of Financial Planning Clients	1-10

Services

Advisory Services	Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers)
Compensation	% of AUMHourly chargesFixed feesCommissions
Other Business Activities	Insurance broker or agent

Identifiers

SEC RIA File Number	801-118731
SEC ERA File Number	801-118731
SEC CIK Numbers	2002815
SEC CRD Numbers	116069
Legal Entity Identifier	None

Principal Office

15169 N. SCOTTSDALE ROAD
SUITE 205
SCOTTSDALE
AZ
United States

Websites

Chief Compliance Officer

No. Employees, Historic

RAUM, Historic

No. Clients, Historic